David J. Rumsey

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CRD#: 3217549

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Jonathan Rumsey, who also goes by David Jonathan Oswalt, Bird Jonathan Rumsey, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Jonathan Oswalt | Bird Jonathan Rumsey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 16, 2013 - June 20, 2019

MADRONA FINANCIAL & CPAS

RIA

CRD#: 115753

EVERETT, WA

Past

July 7, 2010 - December 15, 2014

ARCHER INVESTMENT CORPORATION

RIA

CRD#: 136403

CARMEL, IN

Past

March 21, 2006 - June 8, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MARYSVILLE, WA

Past

January 3, 2005 - December 31, 2005

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ORANGE, CA

Past

December 19, 2002 - January 3, 2005

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

December 6, 2001 - December 17, 2002

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MADRONA FINANCIAL & CPAS

CRD#: 115753 / SEC#: 801-63693

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

California

Registered Investment Advisory firm - (2/3/2006 Cancelled)

Washington

Registered Investment Advisory firm - (7/17/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/26/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/5/2001

General Securities Representative Examination

Current Firm

MADRONA FINANCIAL & CPAS

CRD#: 115753 / SEC#: 801-63693

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

California

Registered Investment Advisory firm - (2/3/2006 Cancelled)

Washington

Registered Investment Advisory firm - (7/17/2006 Terminated)

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Contact information

Main Address

2911 Bond Street, Suite 200, Everett, WA 98201

Mailing Address

Phone number

(425) 212-3777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MADRONA FINANCIAL SERVICES, LLC ADV PART 2A 03.17.2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,725
AUM (Assets Under Management)	$ 505,696,988

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Rumsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MADRONA FINANCIAL & CPAS

ARCHER INVESTMENT CORPORATION

CETERA WEALTH SERVICES, LLC

CROWN CAPITAL SECURITIES, L.P.

KMS FINANCIAL SERVICES, INC.

C. J. M. PLANNING CORP.

Primary Firm SEC Registration

MADRONA FINANCIAL & CPAS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2001

Series 7

Date: 12/5/2001

Current Firm

MADRONA FINANCIAL & CPAS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MADRONA FINANCIAL & CPAS

TRUST BUT VERIFY

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